DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N••••• A••••••• S•••••••• L••
DE PERE, WI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| N••••• A••••••• S•••••••• L•• | Independent wealth | Nov 28, 2017 | n/a | yes | DE PERE, WI | Current employment |
| S•• I••••••••• I••• | Former SEC adviser | Aug 2, 2013 | Nov 24, 2017 | no | GREEN BAY, WI|GREEN BAY, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•• I••••••••• I••• | N••••• A••••••• S•••••••• L•• | Nov 24, 2017 | Nov 28, 2017 | 4 | Firm change | Other |
| I••••••••• C•••••• O• A••••••• I••• | S•• I••••••••• I••• | Nov 3, 2010 | Aug 2, 2013 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 2225:290405:WI:2017-11-22 | Nov 24, 2017 | Nov 28, 2017 | GREEN BAY, WI | Firm change |
| I••••••••• C•••••• O• A••••••• I••• | Former SEC adviser | Jul 1, 2009 | Nov 3, 2010 | no | APPLETON, WI | Previous registration |
| S•• I••••••••• I••• | Former SEC adviser | Jun 30, 2009 | Nov 3, 2010 | no | APPLETON, WI|GREEN BAY, WI | Previous registration |
| 1,003 |
| Firm change after gap |
| Other |
| S•• I••••••••• I••• | I••••••••• C•••••• O• A••••••• I••• | Nov 3, 2010 | Jul 1, 2009 | -490 | Firm change after gap | Other |